AST OWNERSHIP INTELLIGENCE

Business consulting and advisory services, namely, providing information and analysis on investors, capital markets, and credit markets to issuers of investment securities, excluding (i) any pooled investment vehicle or investment company registered, or exempt from registration, under the Investment Company Act of 1940, as amended, and (ii) investment advisory services provided to and/or managing of any pooled investment vehicle or investment company registered, or exempt from registration, under the Investment Company Act of 1940

Financial consulting and advisory services, namely, investor communications and engagement services rendered to issuers of investment securities, excluding (i) any pooled investment vehicle or investment company registered, or exempt from registration, under the Investment Company Act of 1940, as amended, and (ii) investment advisory services provided to and/or managing of any pooled investment vehicle or investment company registered, or exempt from registration, under the Investment Company Act of 1940

Regulatory compliance consulting in the field of stock ownership, tax, corporate governance, proxy solicitation, and escheatment